Register of Securities Staff of AIs
Last updated on 18/06/2026
Name of Relevant Individual
TO, ENOCH
Chinese Name of Relevant Individual
杜庭軒
HKMA Registration Number
AI8513
Current Registration
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
First date of engagement
20 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
First date of engagement
20 Jun 2025
Is an Executive Officer? (Yes / No)
No
Capacity
VICE PRESIDENT, INVESTMENT SPECIALIST
Remarks
Business Address
Name of Registered Institution
SFC CE number
Business Address
Name of Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
SFC CE number
AAA523
Business Address
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Conditions
Not Applicable
Registration History
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
Since 20 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
Since 20 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 1: dealing in securities
Effective Period
14 Jun 2024 - 01 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA EVERBRIGHT BANK CO., LTD.
Regulated Activity
Type 4: advising on securities
Effective Period
14 Jun 2024 - 01 Jun 2025
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
25 Aug 2023 - 02 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CHINA CITIC BANK INTERNATIONAL LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
25 Aug 2023 - 02 Jun 2024
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 1: dealing in securities
Effective Period
15 Sep 2022 - 31 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
BANK OF EAST ASIA, LIMITED (THE)
Regulated Activity
Type 4: advising on securities
Effective Period
15 Sep 2022 - 31 Jul 2023
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 1: dealing in securities
Effective Period
04 Jan 2022 - 29 Jul 2022
Is an Executive Officer? (Yes / No)
No
HKMA Registration Number
A
Registered Institution
CMB WING LUNG BANK LIMITED
Regulated Activity
Type 4: advising on securities
Effective Period
04 Jan 2022 - 29 Jul 2022
Is an Executive Officer? (Yes / No)
No
Records: 1-10 of 10
Public Disciplinary Actions
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.
:
Name of Relevant Individual
TO, ENOCH
:
Chinese Name of Relevant Individual
杜庭軒
:
HKMA Registration Number
AI8513
Registered Institution
Regulated Activity
First date of engagement
Is an Executive Officer? (Yes / No)
Capacity
Remarks
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
20 Jun 2025
No
VICE PRESIDENT, INVESTMENT SPECIALIST
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
20 Jun 2025
No
VICE PRESIDENT, INVESTMENT SPECIALIST
Name of Registered Institution
SFC CE number
Business Address
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
AAA523
1 QUEEN'S ROAD CENTRAL, HONG KONG.
Not Applicable
HKMA Registration Number
Registered Institution
Regulated Activity
Effective Period
Is an Executive Officer? (Yes / No)
AI8513
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 1: dealing in securities
Since 20 Jun 2025
No
AI8513
HONGKONG AND SHANGHAI BANKING CORPORATION LIMITED (THE)
Type 4: advising on securities
Since 20 Jun 2025
No
AI8513
CHINA EVERBRIGHT BANK CO., LTD.
Type 1: dealing in securities
14 Jun 2024 - 01 Jun 2025
No
AI8513
CHINA EVERBRIGHT BANK CO., LTD.
Type 4: advising on securities
14 Jun 2024 - 01 Jun 2025
No
AI8513
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 1: dealing in securities
25 Aug 2023 - 02 Jun 2024
No
AI8513
CHINA CITIC BANK INTERNATIONAL LIMITED
Type 4: advising on securities
25 Aug 2023 - 02 Jun 2024
No
AI8513
BANK OF EAST ASIA, LIMITED (THE)
Type 1: dealing in securities
15 Sep 2022 - 31 Jul 2023
No
AI8513
BANK OF EAST ASIA, LIMITED (THE)
Type 4: advising on securities
15 Sep 2022 - 31 Jul 2023
No
AI8513
CMB WING LUNG BANK LIMITED
Type 1: dealing in securities
04 Jan 2022 - 29 Jul 2022
No
AI8513
CMB WING LUNG BANK LIMITED
Type 4: advising on securities
04 Jan 2022 - 29 Jul 2022
No
Records of public disciplinary actions taken against the relevant individual by the SFC
Not Applicable
Records of public disciplinary actions taken against the relevant individual by the HKMA
Not Applicable
Public disciplinary actions (if any) that took effect over five years ago are not shown.